MUFG Securities EMEA plc

• Principal Place of Business

  Ropemaker Place

  25 Ropemaker Street

  London

  EC2Y 9AJ

  UNITED KINGDOM

  Phone

  +4402075771000

  Web

  https://www.mufgemea.com

• Complaints Contact

  Ropemaker Place

  25 Ropemaker Street

  London

  EC2Y 9AJ

  UNITED KINGDOM

  Phone

  +4402075774227

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

  For Eligible Counterparty, Professional

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Hicham El Chaer

  IRN HXE01049

  • [PRA CF] Significant risk taker or Material risk taker (28 Jul 2016 to 29 Nov 2022)
  • [FCA CF] Material risk taker (28 Jul 2016 to 29 Nov 2022)
  • [FCA CF] Client dealing (28 Jul 2016 to 29 Nov 2022)
• Hideaki Jo

  IRN HXJ00019

  • [FCA CF] Material risk taker (4 Dec 2020 to 20 Apr 2023)
  • [PRA CF] Significant risk taker or Material risk taker (4 Dec 2020 to 20 Apr 2023)
• Hidefumi Yamamura

  IRN HXY01150

  • Director of firm who is not a certification employee or a SMF manager (since 31 May 2024)
• Hideki Ishii

  IRN HXI01070

  • CF29 Significant management (28 Apr 2009 to 7 Apr 2010)
• Hideki Suruga

  IRN SXH01473

  • CF21 Investment Adviser (1 Sep 2002 to 17 Dec 2004)
  • CF17 Significant Mgt (Other Business Operations) (1 Sep 2002 to 11 Jun 2003)
• Hideyuki Sago

  IRN HXS01110

  • CF21 Investment Adviser (1 Dec 2001 to 14 Jun 2002)
• Hideyuki Watanabe

  IRN HXW01096

  • CF21 Investment Adviser (1 May 2003 to 13 Feb 2004)
• Hiraku Saito

  IRN HXS01293

  • CF21 Investment Adviser (18 Apr 2005 to 1 Sep 2006)
  • CF22 Investment Adviser (Trainee) (27 Sep 2004 to 18 Apr 2005)
• Hirofumi Noda

  IRN HXN01035

  • CF26 Customer Trading (15 Feb 2002 to 1 Apr 2003)
• Hiroki Asamura

  IRN HXA87212

  • [FCA CF] Material risk taker (26 May 2019 to 23 Jul 2021)
  • [PRA CF] Significant risk taker or Material risk taker (26 May 2019 to 23 Jul 2021)

No changes recorded yet.